645 results for "September 26 2014"
Page 20 of 26
EFTA00095591.pdf
...He played an instrumental role in the creation of a
new cyber-security unit at the SEC, announced in September, that
targets hackers, electronic trading market manipulation and
www.efinancialcareers.co.uk
Knight/KCG/VIRT: McCarthy SECNY: Madoff: running ahead
also: David Urban,Vinny Viola,Cifu,Hutchins,Greifeld.
AKA "penny...
EFTA00076892.pdf
...CNBOWSIOWWWWWMW
ememme
CHAMOIS
MIIMMOIMaNat
maim Ammon 44___ mom ANOWFMMERO
19,262,392.47
2
213434300
14
200321.89
11.50
19,275,489.08
CHECKING ACCOUNT TRANSACTIONS
DEPOSITS AND OTHER CREDITS
DATE
AMOUNT
DESCRIPTION
11/26
11/26
204,215.00
9,215.00
CHECKS
DATE.. CHECK NO
AMOUNT
DEPOSIT...
EFTA00076491.pdf
...CNBOWSIOWWWWWMW
ememme
CHAMOIS
MIIMMOIMaNat
maim Ammon 44___ mom ANOWFMMERO
19,262,392.47
2
213434300
14
200321.89
11.50
19,275,489.08
CHECKING ACCOUNT TRANSACTIONS
DEPOSITS AND OTHER CREDITS
DATE
AMOUNT
DESCRIPTION
11/26
11/26
204,215.00
9,215.00
CHECKS
DATE.. CHECK NO
AMOUNT
DEPOSIT...
EFTA00069011.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00065405.pdf
...OR as I like to say MORE DERIVATIVES
The 2020 SEC reviewed HWIN 10K filed March 26, 2021
https://www.sec.gov/Archives/edgar/data/1632081/000121390021018020/f10k2020 hometowninter htm
www.sec.gov
EFTA00065416
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 . FORM 10-K (Mark
One) ❑O...
EFTA00096577.pdf
...Wednesday, September 16, 2020 6:25 AM
EFTA00096577
Subject: Fw: Formal appeal for denial covered action 2015-016/ Knight Capital TCR & Appendix
Janey,
Schwarzman must be pretty close to the top of the SEC's "do not investigate" list.
The latest Schwarzman/Blackstone orchestrated fraud and cover up: KODK
Today...
EFTA00096058.pdf
...OR as I like to say MORE DERIVATIVES
The 2020 SEC reviewed HWIN 10K filed March 26, 2021
https://www.sec.gov/Archives/edgar/data/1632081/000121390021018020/f10k2020 hometowninter htm
www.sec.gov
EFTA00096069
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 . FORM 10-K (Mark
One) ❑O...
EFTA00094212.pdf
...Wed, 16 Sep 2020 12:25:26 +0000
Attachments: KCG_Appendix_3-20_13_penultimate.docx; KCG_TCR_3-20-13-penultimate_draft.pdf;
KCG_TCR_3-20-13-penultimate_draft.docx; KCG_Appendix_3-20_13_penultimate.pdf
Janey,
Schwarzman must be pretty close to the top of the...
EFTA00160254.pdf
...in Bali was sentenced in Chicago Wednesday to
26 years in prison. The article noted that federal prosecutors had recommended a 28-year prison sentence for
Heather Mack for conspiring with her boyfriend to kill Sheila von Wiese-Mack in 2014. Mack's attorney Michael
Leonard said he expects Mack...
EFTA00102521.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 I FINRA.org
Report from FINRA Board of Governors Meeting - September 2019
FINRA.org
EFTA00102525
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00064662.pdf
...the company
Between Blink and New Image Concepts, BLNK was known as Car Charging Inc
https://www.sec.gov/Archives/edgar/data/1429764/000114420414059745/v390669 defl4c.htm
This 2014 SEC approved offering also had several red flags of its own. WHOPPERS in fact.
Guess who ELSE was involved in this...
EFTA00069042.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00069339.pdf
...Can Ares Management Sell Neiman Marcus?
2 Ares' Neiman Marcus Gamble In September 2013, Ares Management purchased luxury retailer Neiman
Marcus in a joint venture of Ares Corporate Opportunities Funds III and IV and the Canadian Pension Plan
Investment
www.pecloserlook.org
The SDNY Courts had this information. Kamensky's...
EFTA00097481.pdf
...2011026386002 was filed on October 21,
2014, by the
www.finra.org
Orders Accepting Offers of Settlement - Aegis Capital Corp.. Charles Smulevitz Kevin McKenna (fmra.org)
Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement,
Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF
HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL
Aegis Capital...
EFTA00069109.pdf
...the company
Between Blink and New Image Concepts, BLNK was known as Car Charging Inc
https://www.sec.gov/Archives/edgar/data/1429764/000114420414059745/v390669 defl4c.htm
This 2014 SEC approved offering also had several red flags of its own. WHOPPERS in fact.
Guess who ELSE was involved in this...
EFTA00082705.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 i FINRA.org
Report from FINRA Board of Governors Meeting - September 2019 I
FINRA.org
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00098841.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 i FINRA.org
Report from FINRA Board of Governors Meeting - September 2019
FINRA.org
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New York...
EFTA00083226.pdf
...7/26/2006
ling Address
GRANITE REAL ESTATE INVESTMENTS. LLC
'...u..DEVILLE. LA 70448
0 LOLLY J. LEGER
MANDEVILLE. LA 70470
Limited Liability Company
talus
Status:
Inactive Reason:
File Date:
Last Report Filed:
Type:
Inactive
Voluntary Action
7/26/2006
1/27/2012
Limited Liability Company
gent:
LOLLY J. LEGER...
EFTA00082825.pdf
...OCIE FINRA and Securities Industry Oversight (FSIO) group
Report from FINRA Board of Governors Meeting — September 2019 1 FINRA.org
Report from FINRA Board of Governors Meeting - September 2019 I
FINRA.org
WASHINGTON - FINRA's Board of Governors met on Sept. 24-26 at FIN RA's offices in New...
EFTA00094182.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00071708.pdf
...the company
Between Blink and New Image Concepts, BLNK was known as Car Charging Inc
https://www.sec.gov/Archives/edgar/data/1429764/000114420414059745/v390669 defl4c.htm
This 2014 SEC approved offering also had several red flags of its own. WHOPPERS in fact.
Guess who ELSE was involved in this...
EFTA00094440.pdf
...Can Ares Management Sell Neiman Marcus?
2 Ares' Neiman Marcus Gamble In September 2013, Ares Management purchased luxury retailer Neiman
Marcus in a joint venture of Ares Corporate Opportunities Funds III and IV and the Canadian Pension Plan
Investment
www.pecloserlook.org
The SDNY Courts had this information. Kamensky's...
EFTA00069276.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00067932.pdf
...the basis of my March 2014 letter to McKessy with Berger Montague : I have
attached the KCG 1Q2015 SEC reviewed 10O above
Year over year numbers: The corrupt SEC failed to expunge
pg 53
1Q2014 KCG STAND ALONE OTCM share volumes
14.045 BILLION shares/day (My Letter to McKessy...
EFTA00070722.pdf
...2011026386002 was filed on October 21,
2014, by the
www.finra.org
Orders Accepting Offers of Settlement - Aegis Capital Corp. Charles Smulevitz Kevin McKenna (fmra.org)
Complainant, Hearing Officer Rochelle S. Hall Department ofEnforcement,
Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF
HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL
Aegis Capital...
Search Tips
- Use quotes for exact phrases:
"flight manifest" - Use OR for alternatives:
bank OR financial - Use wildcard for partial matches:
invest* - Exclude words:
document -redacted - Search names:
John Smith